Annual Amendment Service

The ADV Annual Amendment Service provided by RIA Compliance Consultants is to assist an investment adviser with preparing and filing through the IARD system the Form ADV Part 1 annual amendment that an investment adviser must file within 90 days of the investment adviser’s fiscal year end.*

After receiving the online payment for this service, we will send you an email requesting that you execute an electronic contract. Once we have received your executed agreement along with your online payment, we will email you instructions on how to provide RIA Compliance Consultants with user access to your IARD / Web CRD Account. This will allow us to prepare and submit documents on your behalf.

*Advisers managing private funds may be charged additional fees. If you manage a private fund and are an existing client, you should contact your consultant to discuss the price prior to engaging RIA Compliance Consultants for this service. New clients can click here to schedule a time for someone to call you to discuss pricing or contact Tammy Emsick at (877) 345-4034 Ext. 102.

Code of Ethics and Written Supervisory Procedures

Under this manual option for a state registered investment advisor, you receive our standard written supervisory procedures and code of ethics manual template which references the published investment advisor rules of your investment adviser’s primary state securities regulator. This written supervisory procedures and code of ethics template is not customized to your investment adviser’s personnel, business model, procedures or practices. The fixed fee for this Regulator Specific Template Manual is $495.

Under this manual option for an SEC registered investment advisor, you receive our standard written supervisory procedures and code of ethics manual template which references the published investment advisor rules of your investment adviser’s primary securities regulator. This written supervisory procedures and code of ethics template is not customized to your investment adviser’s personnel, business model, procedures or practices. The fixed fee for this Regulator Specific Template Manual is $495.

Under this manual option for a state registered investment advisor, you complete on your own (without a consultant) a detailed questionnaire about your investment advisor’s personnel, business model, procedures and practices. Your answers are then entered into our electronic compliance manual authoring wizard, RIA Express – Compliance Manual Drafter, which automatically creates for you a customized written supervisory procedures and code of ethics manual. This written supervisory procedures manual and code of ethics is customized by our RIA Express – Compliance Manual Drafter, based upon the published investment advisor rules of your primary state securities regulator and the answers to our questionnaire. This manual option will also include a packet of sample forms and checklists that can be used to assist with implementing some of the ongoing compliance and code of ethics requirements. The fixed fee for this Self-Customized, Regulator Specific Manual that you prepare through RIA Express – Compliance Manual Drafter is $695.

Under this manual option for an SEC registered investment advisor, you complete on your own (without a consultant) a detailed questionnaire about your investment advisor’s personnel, business model, procedures and practices. Your answers are then entered into our electronic compliance manual authoring wizard, RIA Express – Compliance Manual Drafter, which automatically creates for you a customized written supervisory procedures and code of ethics manual. This written supervisory procedures manual and code of ethics is customized by our RIA Express – Compliance Manual Drafter, based upon the published investment advisor rules of your primary state securities regulator and the answers to our questionnaire. This manual option will also include a packet of sample forms and checklists that can be used to assist with implementing some of the ongoing compliance and code of ethics requirements. The fixed fee for this Self-Customized, Regulator Specific Manual that you prepare through RIA Express – Compliance Manual Drafter is $695.

The fixed fee for this Consultant Customized, Regulator Specific Manual (State Registered Investment Advisor) is $1,295, which includes use of our electronic compliance manual authoring wizard and 3 hours of consulting work by our compliance consultant.

This manual option for a state registered investment advisor will also include a packet of sample forms and checklists that can be used to assist with implementing some of the ongoing compliance and code of ethics requirements.

The fixed fee for this Consultant Customized, Regulator Specific Manual (SEC Registered Investment Advisor) is $1,295, which includes use of our electronic compliance manual authoring wizard and 3 hours of consulting work by our compliance consultant.

This manual option for an SEC registered investment advisor will also include a packet of sample forms and checklists that can be used to assist with implementing some of the ongoing compliance and code of ethics requirements.

RIA Compliance Consultants has prepared a template compliance manual section to assist advisers with developing internal policies and procedures on the process for assessing the suitability and appropriateness of a recommending a wrap-fee or fee-based account to a client instead of a standard brokerage/commission based account. In addition to the template manual section, you will receive a sample Broker-Dealer (Commission) v. RIA (Fee) Account Acknowledgement that investment adviser representatives that are dually registered as representatives of a broker-dealer can have clients execute to acknowledge that the investment adviser has disclosed the common differences between a broker-dealer/commission arrangement and an investment adviser/fee arrangement.

Included with Silver, Gold and Platinum Packages.

*Please understand that this is a sample or template document. It has not been customized to your investment adviser firm or your regulator’s requirements. It’s not a substitute for working with a compliance professional. You will need to carefully review and finalize this sample document before you start to utilize it.

*Please understand that this is a sample or template document. It has not been customized to your investment adviser firm or your regulator’s requirements. It’s not a substitute for working with a compliance professional. You will need to carefully review and finalize this sample document before you start to utilize it.

This sample WSP section is intended to address risks of identity theft and wire fraud and covers the SEC’s Identity Theft Red Flags rule (Regulation S-ID) along with best practices for detecting identity theft used to for fraudulent third-party disbursements.

This sample WSP section is intended for an investment adviser firm which recommends inverse or leveraged ETFs.

Included with Silver, Gold and Platinum Packages.

This sample document is delivered via the purchaser’s online subscription account with RIA Compliance Consultants. If the purchaser does not have an online subscription account, after the purchase, the purchaser will receive a follow-up email directing the purchaser to establish online subscription account. This step will need to completed before our systems can deliver the sample document.

* This sample form is not designed to meet the requirements of the U.S. Department of Labor’s Conflict of Interest/Fiduciary Rule and/or Best Interest Contract Exemption.

Please understand that this is a sample or template document. It has not been customized to your investment adviser firm or your regulator’s requirements. It’s not a substitute for working with a compliance professional. You will need to carefully review and finalize this sample document before you start to utilize it

This sample document is delivered via the purchaser’s online subscription account with RIA Compliance Consultants. If the purchaser does not have an online subscription account, after the purchase, the purchaser will receive a follow-up email directing the purchaser to establish online subscription account. This step will need to completed before our systems can deliver the sample document.

*Please understand that this is a sample or template document. It has not been customized to your investment adviser firm or your regulator’s requirements. It’s not a substitute for working with a compliance professional. You will need to carefully review and finalize this sample document before you start to utilize it.

This sample WSP section is intended for an investment adviser firm which has investment adviser representatives that may recommend that a client invest a retirement account in a fixed indexed annuity in lieu of a separately managed account by an investment adviser. The purchaser of this sample WSP section will need to customize and/or add factors/criteria considered by the insurance agent in order to ensure that any recommendation is in the best interest of the investor.

Included with Silver, Gold and Platinum Packages.

This sample document is delivered via the purchaser’s online subscription account with RIA Compliance Consultants. If the purchaser does not have an online subscription account, after the purchase, the purchaser will receive a follow-up email directing the purchaser to establish online subscription account. This step will need to completed before our systems can deliver the sample document.

*Please understand that this is a sample or template document. It has not been customized to your investment adviser firm or your regulator’s requirements. It’s not a substitute for working with a compliance professional. You will need to carefully review and finalize this sample document before you start to utilize it.

This sample written supervisory procedure is intended for an investment adviser firm which may recommend to a client the rollover of retirement plan assets to individual retirement account (IRA).

Included with Silver, Gold and Platinum Packages.

*Please understand that this is a sample or template document. It has not been customized to your investment adviser firm or your regulator’s requirements. It’s not a substitute for working with a compliance professional. You will need to carefully review and finalize this sample document before you start to utilize it.

*Please understand that this is a sample or template document. It has not been customized to your investment adviser firm or your regulator’s requirements. It’s not a substitute for working with a compliance professional. You will need to carefully review and finalize this sample document before you start to utilize it.

*Please understand that this is a sample or template document. It has not been customized to your investment adviser firm or your regulator’s requirements. It’s not a substitute for working with a compliance professional. You will need to carefully review and finalize this sample document before you start to utilize it.

Identity Theft Services

During our “Identity Theft & Third-Party Wire & Check Fraud” webinar, our consultants discuss the SEC’s new rule requiring investment advisors with third-party disbursement authority to establish procedures to prevent fraudulent third-party wires and checks from customer accounts. We review not only the SEC’s new rule requirements but best practices that all investment advisors should consider to protect their clients and clients’ assets from identity theft and third-party wire fraud.

RIA Compliance Consultants has prepared a template compliance manual section to address risks of identity theft and wire fraud. Upon purchasing this manual section, RIA Compliance Consultants will provide a template manual section that covers the SEC’s new Identity Theft Red Flags rule (Regulation S-ID) along with best practices that all investment advisors, even those not affected by the new rule requirements, should implement for detecting identity theft used to for fraudulent third-party disbursements. Your investment advisor will be responsible for customizing and incorporating this supplemental section into your firm’s current policies and procedures. This option will also provide you with the opportunity to participate in our Identity Theft & Third-Party Wire & Check Fraud webinar. This supplemental manual section + access to our webinar is available for $295.

Under this option, RIA Compliance Consultants will provide access to our webinar (see description in Option 1 above) + the template manual section (see description in Option 2 above) and up to 1 hour of consulting time with one of our Senior Compliance Consultants to assist with customizing the template compliance manual section. This supplemental manual section + access to our webinar + 1 hour consulting time is available for $595.

Compliance Review

Has your investment advisor conducted a review of its compliance program? Is a consultant led compliance review beyond your budget? RIA Express – Compliance Review is our online compliance tool that helps guide you through the process of reviewing the effectiveness of your investment advisor’s compliance program. RIA Express – Compliance Review takes you through a series of questions about your investment advisor’s disclosures, policies/procedures and actual practices. Based upon your answers, RIA Express – Compliance Review generates a written findings report and allows you to track the status of your corrective actions.

For automatic monthly installment payments of $295 per month, our Silver Package includes RIA Express – Compliance Review, 5 hours of as-needed consulting, IARD renewals, Form ADV Pt. 1A Annual Amendment, live and recorded webinars, certain sample forms and compliance reminders. In addition to the basic compliance support and resources, the Silver Package also provides a method for you to conduct a self-evaluation of your registered investment advisor firm’s compliance program which leverages the knowledge and experience of RIA Compliance Consultants.

For automatic monthly installment payments of $525 per month, our Gold Package includes a consultant led off-site, annual review, 5 hours of as-needed consulting, IARD renewals, Form ADV Pt. 1A Annual Amendment, live and recorded webinars, certain sample forms and compliance reminders. In addition to the basic compliance support and resources, the Gold Package provides your investment advisor firm with an offsite annual review led by a senior compliance consultant of RIA Compliance Consultants. It allows an investment advisor firm to leverage the knowledge and experience of veteran investment advisor compliance professional. Before purchasing this item, please contact us or schedule an introductory call for more details and to obtain an initial quote specific to your investment advisor firm.

Sample Forms

RIA Compliance Consultants has developed the following forms to assist investment advisers in maintaining the required books and records. The forms are delivered in Microsoft Word format and can easily be customized to fit your business. Each form can be purchased individually, and certain forms are included as part of our packages. Please see the Learn More section of each form for additional details.*

For $595, you can purchase the Sample Forms Package, which includes certain forms listed below. The Sample Forms Package does not include all of the forms listed below. Please consult the Learn More section of each form’s description for an indication whether it is included within this package.

This sample form is an example of a checklist for adding a new branch location. It includes items that may need to be updated and some basic compliance/supervision tasks that may be necessary depending upon the circumstances.

For an investment adviser rep who is dually licensed as a registered representative of a broker-dealer, this is sample acknowledgement disclosing to a client common differences between a broker-dealer/commission arrangement and an investment adviser/fee arrangement.

This sample form is intended for use when an investment adviser representative’s recommendation to purchase a fixed indexed annuity within a retirement account is an outside business activity which is not approved or otherwise supervised by the investment adviser firm.

This sample form is intended as a letter to clients about the investment adviser firm’s new procedure of looking back and updating the valuation of non-traded, private investment funds for purposes of calculating the investment adviser firm’s fee.

This is a sample letter to a client from an investment adviser representative who is starting a new investment adviser firm and will be dually licensed as an investment adviser representative with the old and new firm during the transition.

This sample form is a sample checklist to identify and document issues reviewed and discussed during a client meeting. These items are examples of compliance issues which might make sense for inclusion in an investment adviser firm’s finalized checklist/template depending upon the circumstances.

This sample log is intended to assist your investment adviser firm in tracking the conflicts of interest of your firm and its supervised persons and documenting how the firm eliminated or disclosed and mitigated such conflicts.

Pursuant to Section 206 of the Investment Advisers Actof 1940, an investment adviser has a duty to its clients to conduct a reasonable investigation concerning any third parties that provide services to the investment adviser, including cloud computing service providers.

This sample document is an example of a letter to the U.S. Department of Labor (“DoL”) indicating that the investment adviser intends to rely upon the Best Interest Contract Exemption for purposes of the DoL’s Fiduciary Rule.

This is a sample letter whereby an investment advisor summarizes any material changes to the Form ADV Part 2A during the past year, offers its most current copy of the Form ADV Part 2A and delivers a privacy policy notice to the client.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

To the extent that an investment adviser firm has classified certain individuals associated with the investment adviser firm as “non-access” persons, this is sample document for confirming with each individual classified as a non-access person that he or she is not permitted to access certain non-public information regarding clients and the non-public securities recommendations of the investment adviser firm.

This sample form is intended a reference tool when the investment adviser firm or its supervised person appears to be subject to a regulatory inquiry or investigation. This sample form is a checklist of approximately 20 steps or issues that an investment adviser firm may potentially want to consider or address.

This sample letter is intended for use when an investment adviser representative is seeking permission from a state securities regulator for dual registration on a temporary basis as an investment adviser representative with both a new investment adviser firm and an old investment adviser firm.

Please understand that a sample document purchased through our online store is merely a sample and provided to the purchaser on “as is” basis with no warranty or guaranty whatsoever.

The sample document has not been customized to the purchaser’s business model, the specific investment advisory rules applicable to the purchaser’s investment adviser or the written supervisory procedures and code of ethics of purchaser’s investment adviser. This sample document may not be applicable or appropriate for every investment adviser. The purchaser should not consider a sample document purchased from our online stor as an exhaustive, comprehensive or definitive list of the items necessary to meet the purchaser’s obligations under the applicable investment adviser laws and rules.

Due to changes of investment adviser laws and rules, this sample documented may become outdated and need to be updated or discontinued. Since this sample document may not reflect the specific investment advisory requirements of the purchaser’s securities regulator, the purchaser should check with the securities regulator(s) with jurisdiction over its investment adviser before using this document.

This sample document is not a substitute for retaining a compliance professional to advise and assist the purchaser regarding its investment adviser’s compliance program. Unless otherwise agreed to in writing, the purchaser understands that the purchaser has not engaged RIA Compliance Consultants, Inc. in a consulting relationship by merely utilizing a sample form. Additionally, the purchaser understand that unless otherwise agreed to in writing, RIA Compliance Consultants, Inc. is not responsible for customizing this sample document, updating the sample document, preparing the purchaser’s written supervisory procedures or code of ethics, or notifying the purchaser of changes to the investment advisor laws and rules.

Upcoming Webinars

Keep abreast of new investment adviser regulatory developments by the U.S. Securities and Exchange Commission (“SEC”) and state securities regulators by participating in the investment adviser compliance webinars hosted monthly by RIA Compliance Consultants. Our investment adviser compliance webinars are designed to educate and train participants on the fundamentals of investment adviser compliance and the latest SEC and state securities regulator’s investment adviser rules, enforcement proceedings and no-action letters. RIA Compliance Consultants’ webinar presenters will attempt to provide examples of best compliance practices and practical solutions designed to meet an investment adviser’s compliance obligations.

Train new staff on basic investment advisor compliance, learn best practices used by chief compliance officers of other investment advisors and stay current on most recent regulatory developments by purchasing our Annual Subscription to Live & Recorded Webinars. Under the Annual Subscription to Live & Recorded Webinars, you will have unlimited access during the next 12 month subscription period to all live webinars (at least 10 per year) hosted by RIA Compliance Consultants and all of the recorded webinars currently available in our library. By purchasing this annual subscription now, you can immediately reduce the average cost of your investment advisor compliance webinars and make sure that you and your colleagues have access to outstanding investment advisor compliance training.

During this webinar, RIA Compliance Consultants will explain in detail the process and documents necessary for registering a firm as an investment advisor, the criteria for determining whether a firm should register with the SEC or state securities regulators, and the common pitfalls or mistakes experienced by applicants. Additionally, our consultants will give numerous best practices used by applicants when registering as an investment advisor. Finally, we will review some of the ongoing obligations of a newly registered investment advisor.

Each year within 90 days of a firm’s fiscal year end, investment advisers must file a Form ADV annual amendment. This year investment advisers will have to provide more information than they have in the past due to changes to the Form ADV that were approved last year. These changes become effective October 1, 2017 and any Form ADV filed after this date will be required to provide the new data. For most existing investment advisers, this means that the new data will be required when they file the Form ADV annual amendment. These changes will likely affect almost every investment adviser and many advisers may not be prepared to gather the additional data that is being requested on the Form ADV. During this webinar RIA Compliance Consultants will provide an overview of the new information that will be required after October 1. Investment advisers should attend this webinar so that they can begin preparing their data early this year to make sure that they can gather the necessary data in the manner that the SEC is requesting it. Our consultants will also briefly discuss some of the common mistakes we see when investment advisers are filing their annual amendments.

Time: Our investment adviser compliance webinars are generally scheduled to last one-hour from 12:00 p.m. to 1:00 p.m. Central Time on the topics and dates listed above.

Fee: Depending upon the compliance topic, the webinar may be offered upon a fee or complimentary basis. For a webinar subject to a charge by RIA Compliance Consultants, the fee is $69.95 per session and non-refundable.

Technical Requirements: In order to participate, you must have access to a telephone and an Internet browser. PC-based participants will need Windows® 2000, XP Home, XP Pro, 2003 Server, or Vista. Macintosh®-based attendees will need Mac OS®.

*This is a complimentary webinar that will be presented by our affiliated law firm. Although RIA Compliance Consultants is affiliated with a law firm, RIA Compliance Consultants is not a law firm and does not provide legal services. Please note that a compliance consulting relationship with RIA Compliance Consultants is not provided those legal and professional protections that normally exist under an attorney-client relationship. For more information, please visit our Disclosures webpage.

Recorded Webinars

Keep abreast of new investment adviser regulatory developments by the U.S. Securities and Exchange Commission (“SEC”) and state securities regulators by participating in the investment adviser compliance webinars hosted monthly by RIA Compliance Consultants.

Our investment adviser compliance webinars are designed to educate and train participants on the fundamentals of investment adviser compliance and the latest SEC and state securities regulator’s investment adviser rules, enforcement proceedings and no-action letters. RIA Compliance Consultants’ webinar presenters will attempt to provide examples of best compliance practices and practical solutions designed to meet an investment adviser’s compliance obligations.

Once you complete your transaction to purchase a recorded webinar, you will receive two separate emails from RIA Compliance Consultants: (a) an email with a receipt confirming your transaction; and (b) an additional email that includes a link to our CustomerHub page where you can access your new webinar and any webinars you have previously purchased from RIA Compliance Consultants.

Technical Requirements: In order to participate, you must have access to a telephone and an Internet browser. PC-based participants will need Windows® 2000, XP Home, XP Pro, 2003 Server, or Vista. Macintosh®-based attendees will need Mac OS®.

Description: Train new staff on basic investment advisor compliance, learn best practices used by chief compliance officers of other investment advisors and stay current on most recent regulatory developments by purchasing our Annual Subscription to Live & Recorded Webinars. Under the Annual Subscription to Live & Recorded Webinars, you will have unlimited access during the next 12 month subscription period to all live webinars (at least 10 per year) hosted by RIA Compliance Consultants and all of the recorded webinars currently available in our library. By purchasing this annual subscription now, you can immediately reduce the average cost of your investment advisor compliance webinars and make sure that you and your colleagues have access to outstanding investment advisor compliance training.

Time: 71 minutesDescription: The SEC periodically offers Compliance Outreach Program Regional Seminars for Investment Adviser and Investment Company Senior Officers. These seminars are jointly sponsored by the SEC’s Office of Compliance Inspections and Examinations, Division of Investment Management, and Division of Enforcement’s Asset Management Unit. One of these regional seminars was recently held in Chicago and the SEC provided a webcast of the day long even. RIA Compliance Consultants believes these seminars can be beneficial to learn more about the SEC’s exam priorities, what some of their key areas of focus are, what might be coming in the future, and what trends or common exam deficiencies they may be seeing. One of our senior consultants listened to the webcast and will highlight for you some of the key points she learned from the various panel discussions that were presented during the webcast. Our consultant will also try to provide you with guidance for addressing some of these issues within your investment adviser.

Time: 59 minutesDescription: Will you be in compliance with the Best Interest Contract Exemption under the U.S. Department of Labor's fiduciary rule, which tentativley goes into effect on June 9, 2017? This webinar will review an investment adviser firm's obligations as of June 9, 2017 and January 1, 2018 under the recetnly amended apllicability dates of the Best Interest Contract Exemption.

Time: 72 minutesDescription: During this webinar, RIA Compliance Consultants provides an overview of the requirement for an investment adviser to develop and implement written policies and procedures pursuant to Rule 206(4)-7 under the Investment Advisers Act of 1940. Our consultants will provide an overview of the minimal areas that the initial rule release, issued in 2004, indicated should be address in investment advisers’ policies and procedures. We will also provide guidance on additional areas, since the adopting rule release, of regulatory focus or potential areas of concern that investment advisers should consider addressing in their written policies and procedures. Our consultants will review the importance of customizing and maintaining this document on an ongoing basis to accurately and effectively address the specific risks and conflicts of interest associated with each firm’s business model, outside business activities, and affiliations. We will provide tips for the customization and maintenance of an effective compliance program through communication, analysis, and ongoing reviews, testing, and monitoring.

Time: 66 minutesDescription: During this previously recorded webinar, RIA Compliance Consultants explains in detail the process and documents necessary for registering a firm as an investment advisor, the criteria for determining whether a firm should register with the SEC or state securities regulators, and the common pitfalls or mistakes experienced by applicants. Additionally, our consultants give numerous best practices used by applicants when registering as an investment advisor. Finally, we will review some of the ongoing obligations of a newly registered investment advisor.

Time: 71 minutesDescription: During this webinar, RIA Compliance Consultants will discuss the requirement for each investment adviser to designate an individual to serve in the role as Chief Compliance Officer (CCO) pursuant to Rule 206(4)-7 under the Investment Advisers Act of 1940. We will discuss who should serve in the role as the CCO, what it really means to be the CCO, and the responsibilities associated with serving as the CCO for your investment adviser. We will also discuss some of the key factors investment advisers should consider when they outsource compliance activities or the chief compliance officer role to unaffiliated third parties.

Time: 65 minutesDescription: In January 2017, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its exam priorities for 2017. In February 2017, OCIE issued a Risk Alert providing a list of the five most frequent compliance topics identified in OCIE’s examinations of investment advisers. During this webinar, RIA Compliance Consultants will provide an overview of the exam priorities that relate to registered investment advisers. Our consultants will then discuss common exam deficiencies, highlighting the ones that are addressed in the OCIE Risk Alert, and will provide tips for proactive steps investment advisers can take to be prepared for a regulatory exam and to prevent some of the most common exam deficiencies.

Time: 68 minutesDescription: During this webinar, RIA Compliance Consultants will discuss the need for investment advisers to continuously assess where the investment advisers may have potential conflicts of interest. We will then discuss the importance of determining whether the conflict of interest is something that should be eliminated and when it cannot be eliminated the importance of mitigating the conflict and providing accurate and full and fair disclosure to clients.

Time: 62 minutesDescription: During this webinar, RIA Compliance Consultants reviews the Form ADV items that are required to be updated on an annual basis. Our consultants discuss some of the common mistakes we see when investment advisers are filing their annual amendments. Additionally, we address some of the other amendments and filings that may need to be made with your annual amendment. We also provide a brief overview of the Form ADV amendments that will be required after October 1, 2016 so your firm can make sure it is keeping accurate records throughout the year to assist with preparing the 2017 fiscal year end annual amendment.

Time: 62 minutesDescription: During this webinar, RIA Compliance Consultants discusses a variety of topics related to the ongoing regulatory requirements for registered investment advisers. We focus on some of the common compliance duties that should be performed by all investment advisers each year. Tips are provided by our consultants for preparing customized compliance calendars, checklists, and forms to assist investment advisers with meeting annual regulatory requirements. Additionally, we discuss some of the key areas of regulatory focus during 2016 and some changes or potential changes coming in 2017.

Time: 62 minutesDescription: Many times we see registered investment advisers with custody violations resulting from an inadvertent custody situation where the investment adviser has provided services to a client that unknowingly resulted in the investment adviser being deemed to have custody of a client’s assets. During this webinar RIA Compliance Consultants explains why the majority of investment advisers have custody simply as the result of debiting advisory fees from client accounts. Our consultants discuss services that result in custody (as defined by the SEC) including trustee relationships, full power of attorney, maintaining client-account login credentials and bill paying services. Thorough explanations are provided to help investment advisers better understand what custody means, the requirements imposed by SEC Rule 206(4)-2, who needs

Time: 73 minutesDescription: During this webinar, we review the main requirements of the new DoL conflict of interest rule and discuss some techniques and next steps certain investment adviser only firms may take in response to this rule.

Time: 56 minutesDescription: During this webinar, RIA Compliance Consultants discusses the compliance challenges and conflicts of interest faced by independent registered investment advisers that allow their investment adviser representatives to also conduct brokerage business as registered representatives of an independent broker-dealer. For the past four years, the SEC’s Office of Compliance Inspections and Examinations has listed dual registrants or fee selection and reverse churning as examination priorities. During this webinar, our consultants will discuss the importance of clearly understanding the compliance differences between these two roles and implementing strong compliance policies and procedures to address the risks and conflicts of interest associated with offering both business models. We discuss the importance of communicating to clients the difference in the role of an investment adviser representative versus a registered representative as well as providing full disclosure regarding the conflicts or potential conflicts of interest present because of a representative’s ability to act in both capacities. We also discuss the risks associated with being dually registered in these capacities. Additionally, our compliance consultants provide some tips and best practices for developing a compliance program to address these risks and conflicts.

Time: 62 minutesDescription: During this webinar, RIA Compliance Consultants discusses what it means to have and the importance of having a strong “culture of compliance.” An investment adviser’s compliance culture and “tone at the top” are areas that a regulator will typically begin assessing early in the examination process. This assessment can have a big impact on an examiner’s view of the effectiveness of an investment adviser’s compliance program. RIA Compliance Consultants provides insight regarding what an investment adviser should look at and consider in assessing the strength of its compliance program. Additionally, tips are provided regarding elements that should be included as part of and beyond the compliance program to make sure the investment adviser has a strong compliance culture in place.

Time: 68 minutesDescription: During this webinar, RIA Compliance Consultants provides an overview of the regulatory exam process, the different types of exams conducted, and the types of documents that may be requested during an exam. We briefly discuss the 2016 Exam Priorities of the Office of Compliance Inspections and Examinations of the SEC and some of the information provided by the North American Securities Administration Association’s 2015 Investment Adviser Coordinated Exams report. Additionally, we provide tips and recommendations to help your investment adviser make sure that they are ready for an examination.

Time: 74 minutesDescription: During this webinar, RIA Compliance Consultants provide an overview of Rule 204-2 of the Investment Advisers Act to help provide investment advisers with a general understanding of the types of documents that investment advisers are required to maintain; the length of time that investment advisers must maintain the records required under this rule; and the requirements for maintaining records electronically. Our consultants discuss some common exam deficiencies related to Rule 204-2 and will provide some tips and best practices to avoid those deficiencies.

Time: 58 minutesDescription: During this webinar, RIA Compliance Consultants briefly discuss the recordkeeping requirements under Rule 204-2 of the Investment Advisers Act of 1940 (“Advisers Act”) that specifically relate to the annual policies and procedures review required under Rule 206(4)-7 of the Advisers Act. Our consultants provide some tips on what type of records should be maintained documenting the firm’s assessment of its written policies and procedures. After a brief discussion about documenting the annual compliance review, our consultants provide a demonstration of our RIA Express – Compliance Review. This is our online compliance tool we have developed to help guide investment advisers through the process of reviewing the effectiveness of their investment adviser compliance programs.

Time: 62 minutesDescription: This was the thirteenth and final session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, RIA Compliance Consultants discuss some of the books and records related to client documents and proxy voting that are required under Rule 204-2 of the Investment Advisers Act of 1940. Our consultants address some of the documentation and reports that may not be specifically referenced under Rule 204-2 but are commonly requested by regulators. Our consultants discuss the need for written policies and procedures to address client documentation, proxy voting, and advising foreign clients. Additionally, our consultants briefly discuss some areas related to ERISA regulations that investment advisers should further discuss with an ERISA attorney if they are providing advice to ERISA covered plans. Our consultants provide tips and recommendations regarding reviews and tests related to these topics that should be performed as part of a firm’s annual compliance review.

Time: 57 minutesDescription: This was the twelfth session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, RIA Compliance Consultants briefly discuss of the importance of and having written policies and procedures to address complaints, regulatory exams, regulatory investigations, and whistleblower complaints. Our consultants provide tips and recommendations for what should be covered in an investment adviser’s written policies and procedures to address each of these topics. After a brief overview of these topics, our consultants provide tips and recommendations regarding reviews and tests related to these topics that should be performed as part of a firm’s annual compliance review.

Time: 63 minutesDescription: This was the eleventh session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, RIA Compliance Consultants briefly discuss some of the books and records related to trading, portfolio management, and financial planning that are required under Rule 204-2 of the Investment Advisers Act of 1940. Our consultants also discuss some of the documentation and reports that may not be specifically referenced under Rule 204-2 but are commonly requested by regulators. Our consultants address the importance of ongoing supervision and review of these documents. Our consultants provide tips and recommendations regarding reviews and tests related to these topics that should be performed as part of a firm’s annual compliance review.

Time: 72 minutesDescription: This was the tenth session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, RIA Compliance Consultants briefly discuss an overview of the importance of and requirements for having a business continuity and disaster recovery plan as well as the need to periodically test and assess the plan. Our consultants address an investment adviser’s need to have an information security plan in place and to monitor and test the firm’s plan on an ongoing basis. Cybersecurity is an ongoing focus of regulators and is likely something that will be assessed during a regulatory exam. Our consultants provide a brief overview of the guidance that has been provided by the SEC as well as provide some best practices and tips for information security safeguards that investment advisers should have in their written plans. Our consultants provide tips and recommendations regarding reviews and tests related to these topics that should be performed as part of a firm’s annual compliance review.

Time: 70 minutesDescription: This was the ninth session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, RIA Compliance Consultants discusses some of the limitations or restrictions related to fees billed to advisory clients. Our consultants briefly discuss the custody requirements under Investment Advisers Act of 1940, Rule 206(4)-2, Custody of Funds or Securities of Clients by Investment Advisers. Additionally, our consultants also provide a brief overview of the Schedule 13 filings required for some investment advisers and some of the filings or disclosures that may be required for investment advisers who are managing private funds. Our consultants provide tips and recommendations regarding reviews and tests related to these topics that should be performed as part of a firm’s annual compliance review.

Time: 67 minutesDescription: This was the eighth session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, RIA Compliance Consultants discusses some of the basic company records, lists, and reports that should be maintained by investment advisers. Our consultants cover the records specifically referenced under the Investment Advisers Act of 1940, Rule 204-2, the Books and Records to be Maintained by Investment Advisers, as well as some of the organizational and operational records, lists, and reports not specifically referenced under Rule 204-2 but commonly requested by regulators. Our consultants provide tips and recommendations regarding records that should be reviewed during the annual compliance review process.

Time: 66 minutesDescription: This was the seventh session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, RIA Compliance Consultants discusses an investment adviser’s responsibilities related to electronic communications with clients, electronic record retention requirements, and the protection of client non-public, personal information. Our consultants provide an overview of the electronic recordkeeping requirements under Rule 204-2 of the Investment Advisers Act of 1940 and the requirements for protection confidential client information under Regulation S-P as well as the requirements related to privacy policy notices that must be provided to clients. Our consultants also provide tips and recommendations for ongoing testing, monitoring, and reviewing of email and other electronic communications; electronically maintained, required books and records; and the protection of confidential client information and the firm’s communication with clients regarding its privacy policy.

Time: 64 minutesDescription: This was the sixth session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, RIA Compliance Consultants discusses an investment adviser’s responsibilities when establishing solicitor arrangements or serving as a solicitor. Additionally, we discuss the supervisory responsibilities related to investment advisers using service providers to assist with providing services to clients or performing ongoing compliance and regulatory responsibilities. We provide a brief overview of the requirements for solicitor arrangements under Rule 206(4)-3 of the Investment Advisers Act of 1940. Our consultant also provide recommendations for ongoing review, monitoring, and supervision of solicitor arrangements and service provider due diligence as well as what should be reviewed and tested as part of the firm’s annual compliance review process. Participation in prior sessions of our webinar series is not required in order to benefit from attending this webinar session.

Time: 64 minutesDescription: This is the fifth session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, RIA Compliance Consultants discusses an investment adviser’s responsibilities for supervising advertising and social media. We provide a brief review of Rule 206(4)-1 under the Investment Advisers Act of 1940 and the related books and records requirements under Rule 204-2. Our consultants also provide recommendations for ongoing supervision and monitoring of advertising and social media as well as examples of what should be reviewed and tested as part of the firm’s annual compliance review process. Participation in prior sessions of our webinar series is not required in order to benefit from attending this webinar session.

Time: 70 minutesDescription: This was the fourth session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, we discuss the supervision responsibilities related to having more than one investment adviser representative licensed under an adviser firm. Additionally, we discuss the importance of having strong supervisory policies and procedures and the importance of providing initial and ongoing training related to the firm’s policies and procedures. One specific area that is discussed during the webinar will be the supervision of investment adviser representatives located in branch office locations. This was one of the areas identified as a 2015 examination priority by the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission. We also talk about the supervision of outside business activities for the firm and it supervised persons. One of our senior compliance consultants discusses ongoing supervisory responsibilities and provides examples of areas that should be reviewed and tested as part of the annual compliance review process. Participation in prior sessions of our webinar series is not required in order to benefit from viewing this webinar session.

Time: 71 minutesDescription: This is the third session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, we discuss the requirements under Rule 204A-1 of the Investment Adviser Act of 1940 for investment advisers to establish, maintain, and enforce a written code of ethics. We also address the need for investment advisers to develop strong policies and procedures to prevent insider trading and for supervising personal securities transactions. We discuss the types of documentation that should be maintained, and the types of reviews, testing, training, and monitoring that should be done on an ongoing basis. Participants can benefit from viewing this webinar session, if this is a topic of interest, even if they have not participated in the other sessions provided as part of our webinar series.

Time: 69 minutesDescription: This webinar was the second session in our webinar series RIA Compliance Consultants will present over the next year focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, we discuss ongoing registration, notice filing, and licensing requirements beyond the initial registration for registered investment advisers. We talk about the ongoing review, monitoring and testing that should be done in order to ensure that the investment adviser and its representatives are properly registered, notice filed, and licensed at all times. Additionally, we discuss things investment advisers should consider when referencing designations, exams, degrees, or licenses in disclosure documents or marketing materials. Investment advisers can benefit from viewing this webinar even if they have not participated in the other sessions provided as part of our webinar series.

Time: 64 minutesDescription: This webinar kicked-off a series of webinars that RIA Compliance Consultants will present over the next year to help registered investment advisers understand the process of performing annual assessments of their written supervisory policies and procedures required by Rule 206(4)-7 under the Investment Advisers Act of 1940. RIA Compliance Consultants will host a series of webinars that will provide a more in-depth look at what investment advisers should consider as they are performing an assessment of their compliance program. We will provide specific examples of the areas that should be assessed, questions that the firm should be asking itself and its employees as part of the review process, and testing that should be performed as part of the assessment process. Both newly registered investment advisers and firms that have been registered for some time can benefit from participating in these webinars since we will address not only the requirements under the Investment Advisers Act of 1940 but also an investment adviser’s ongoing obligations as it relates to these requirements. Investment advisers can benefit from participating in the entire series of webinars or by choosing only those individual webinars that they feel will be most beneficial to their firm. During this first webinar, RIA Compliance Consultants discusses the requirements of Rule 206(4)-7. We then provide an overview of what it means to perform an assessment, the purpose for performing one, and the actions and parties that should be involved in the assessment process. We also provide tips for conducting the review and documenting the findings and corrective actions.

Time: 66 minutesDescription: During this webinar, we addressed the examination priorities for 2015 that were released in January 2015 by the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC). The examination priorities release addressed a variety of issues that affect several different financial institutions. RIA Compliance Consultants presented this webinar to provide registered investment advisers with an overview of the priorities addressed in the SEC’s release. We also provided investment advisers with further insight into the examination areas as they specifically relate to registered investment advisers. Additionally, we provide you with tips and best practices for how your investment adviser can prepare itself to address these areas should the investment adviser be subject to an examination. OCIE shares its examination priorities to help promote compliance. This webinar was presented to help an investment adviser gain a better understanding of what the examiners are looking for so that your investment adviser can be proactive in making sure that it has the proper controls in place. Although the webinar addresses SEC exam priorities, state registered firms are subject to examinations from state regulatory authorities and can also benefit from viewing this webinar and making sure that these areas are addressed within their firms’ compliance programs.

Time: 80 minutesDescription: During this webinar RIA Compliance Consultants reviews the Form ADV items that are required to be updated on an annual basis. Our consultants discuss some of the common mistakes we see when investment advisers are filing their annual amendments. Additionally, our consultants address some of the other amendments and filings that may need to be made with your annual amendment.

Time: 70 minutesDescription: During this webinar, RIA Compliance Consultants discusses a variety of topics related to the ongoing regulatory requirements for investment advisers including, the Form ADV Annual Amendment filing, the annual offer or delivery of Form ADV, the annual privacy policy delivery, a review of outside business activities of IARs, ongoing due diligence of third party service providers, the assessment of supervisory programs, code of ethics requirements, and personal securities transactions supervision. Additionally, we discuss some of the key areas of regulatory focus during 2014. Our consultants will provide tips for preparing customized compliance calendars, checklists, and forms to assist investment advisers with meeting annual regulatory requirements.

Time: 67 minutesDescription: RIA Compliance Consultants presented this webinar to address the importance of information security as it pertains to registered investment advisers. Our consultants discuss the continued and increasing regulatory focus on investment advisers developing, maintaining, monitoring and testing written information security programs designed to protect clients’ assets and confidential client information. We also discuss the National Examination Program Risk Alert issued in April 2014 by the SEC’s Office of Compliance Inspections and Examinations that provides a sample list of information regarding cybersecurity that may be requested during an SEC examination. Additionally, we provide some tips and best practices regarding information security safeguards that investment advisers should include in their written plans.

Time: 66 minutesDescription: RIA Compliance Consultants presented this webinar to help investment advisers understand what it means to have a “culture of compliance.” During this webinar, our consultants discuss the importance of compliance beginning with the “tone at the top” and working its way throughout the organization. We provide insight into ways you can develop a strong compliance culture beyond just developing strong internal policies and procedures. We also discuss the importance of educating all employees both at the time of employment and on an ongoing basis. Additionally, we talk about holding an annual compliance meeting and what should an investment adviser should consider covering at these meetings.

Time: 66 minutesDescription: RIA Compliance Consultants presented this webinar to discuss the compliance challenges and conflicts of interest faced by independent registered investment advisers that allow their investment adviser representatives to also conduct brokerage business as registered representatives of an independent broker-dealer. During this webinar, our consultants discuss the importance of clearly understanding the compliance differences between these two roles and implementing strong compliance policies and procedures to address the risks and conflicts of interest associated with offering both business models. We discuss the importance of communicating to clients the difference in the role of an investment adviser representative versus a registered representative as well as providing full disclosure regarding the conflicts or potential conflicts of interest present because of a representative’s ability to act in both capacities. We also discuss the focus the SEC is placing, as indicated in the SEC National Examination Program Examination Priorities for 2014, on the risks associated with being dually registered in these capacities. Additionally, our compliance consultants provide some tips and best practices for developing a compliance program to address these risks and conflicts

Time: 54 minutesDescription: Most investment advisers will use some type of service provider to assist with providing services to advisory clients or performing ongoing compliance and regulatory responsibilities. Utilizing a service provider does not eliminate an investment adviser’s fiduciary and regulatory responsibilities for the outsourced services. Investment advisers must develop ways to assess, supervise, and monitor service providers and the activities delegated to service providers. RIA Compliance Consultants presented this webinar to discuss the importance of performing due diligence on all service providers utilized by the investment adviser. During this webinar, our consultants provided guidance on developing service provider due diligence policies and procedures. We also provided recommendations on the frequency of due diligence reviews and what should be covered during in the initial and ongoing due diligence process.

Time: 69 minutesDescription: Marketing/Performance was one of the areas of focus specifically referenced for investment advisers in the SEC’s National Examination Program Examination Priorities for 2014. RIA Compliance Consultants presented this webinar to help investment advisers gain a better understanding of the compliance requirements for marketing and advertising. During this webinar, our consultants discuss Rule 206(4)-1 of the Investment Advisers Act of 1940, which specifically addresses prohibited practices relating to advertisements by investment advisers. Additionally, we discuss some of the guidance that has been provided through SEC no-action letters and enforcement actions related to marketing materials used by investment advisers. Some of the requirements specifically related to performance advertising and the use of social media are addressed in this webinar. Our consultants also provide you with some tips and best practices for preparing, supervising, and approving marketing materials.

Time: 53 minutesDescription: If your investment adviser will act as a solicitor for other investment advisers or third-party money managers or it will have arrangements where it will pay a third-party for client referrals, this webinar will help you further understand the initial and ongoing requirements of having solicitor arrangements. During this webinar, RIA Compliance Consultants reviews the requirements of SEC Rule 206(4)-3 and the registration requirements of some state securities regulators. Additionally, one of our consultants discusses some best supervisory practices for investment advisers that have solicitor arrangements.

Time: 54 minutesDescription: During this webinar, RIA Compliance Consultants discusses the requirement for investment advisers to adopt a Code of Ethics under Rule 204A-1 of the Investment Advisers Act of 1940 and similar state requirements. Our consultants discuss the requirements under Rule 204A-1, which includes personal securities transaction supervision and monitoring. In addition, our consultants discuss policies investment advisers should consider related to political contributions requirements (Pay to Play), gifts and entertainment, and whistleblower provisions.

Time: 60 minutesDescription: During this webinar, RIA Compliance Consultants discusses the 2014 SEC examination priorities for investment advisers. Our consultants provide an overview of the examination process and tips on steps a registered investment adviser can take to make sure that they are ready at all times for a regulatory examination. We also discuss the types of information and documentation that may be requested during an examination and some of the common regulatory deficiencies found during the examination process.

Time: 65 minutesDescription: During this webinar, RIA Compliance Consultants provides an overview of ongoing regulatory requirements for investment advisers. Our consultants provide tips for preparing a customized compliance calendars, checklists, and forms to assist investment advisers with meeting annual regulatory requirements. Our consultants discuss a variety of topics, including , the Form ADV Annual Amendment filing, the annual offer or delivery of Form ADV, the annual privacy policy delivery, a review of outside business activities of IARs, ongoing due diligence of third party service providers, the assessment of supervisory programs, code of ethics requirements, personal securities transactions supervisor, and compliance training.

Time: 63 minutesDescription: During this webinar, RIA Compliance Consultants discuss the requirement of Rule 206(4)-7 under the Investment Advisers Act of 1940 for an investment adviser to conduct an annual compliance review of the adequacy of the investment adviser’s written compliance policies and procedures. Our consultants discuss who should be involved in the annual compliance review process and the purpose of conducting the review. We also provide tactical tips for conducting an annual compliance review and documenting findings.

Time: 60 minutesDescription: During this webinar, RIA Compliance Consultants provides an overview of the requirement for an investment adviser to develop written supervisory policies and procedures pursuant to Rule 206(4)-7 under the Investment Advisers Act of 1940. Our consultants discuss the importance of and process for developing and maintaining a customized program to address the specific risks and conflicts of interest associated with each firm’s business model, outside business activities, and affiliations. Our consultants also discuss the value of ongoing monitoring and testing in addition to the annual compliance review process in order to ensure that the policies and procedures are written to reasonably prevent violations of the Investment Advisers Act of 1940 and the rules thereunder. Additionally, our consultants discuss the need to make sure that all supervised persons understand and comply with the firm’s policies and procedures in order to promote a strong compliance culture throughout the firm.

Time: 72 minutesDescription: During this webinar, RIA Compliance Consultants review Rule 204-2 of the Investment Advisers Act of 1940 to help provide investment advisers with a better understanding of what books and records investment advisers are required to retain and for how long. Our consultants provide an overview of the types of files, documents, and reports that may be requested during a regulatory exam and discuss some of the common deficiencies related to Rule 204-2. Additionally, we provide a brief discussion on the requirement for maintaining records electronically.

Time: 60 minutesDescription: Does your investment adviser firm have custody? Most SEC registered investment adviser firms are considered to have custody, but many firms fail to recognize their custody status and, worse yet, some firms fail to comply with the minimum requirements for investment adviser firms with custody. This webinar will dissect the SEC’s definition of custody and analyze what triggers the additional requirements for investment adviser firms with custody. Our consultants discuss many common investment adviser practices that result in custody as defined by the SEC and answer pressing questions about the rule's impact on investment advisers. We will focus upon the deduction of advisory fees, acceptance of third-party checks from clients, trustee relationships, and other common custody situations for investment adviser firms.

Time: 58 minutesDescription: Conducting a risk assessment/risk inventory is the first critical step involved in an investment adviser developing strong compliance policies and procedures. A review of the risk assessment/risk inventory should be done as part of an investment adviser’s assessment of it compliance policies and procedures, which is required to be done at least annually. During this webinar RIA Compliance Consultants discuss the need for and value of the risk assessment process. Our consultants provide insight regarding the process for identifying risks and the types of questions an investment adviser should ask during the risk assessment process. Additionally, we provide tips for documenting the risk assessment/risk inventory.

Time: 59 minutesDescription: During this webinar, RIA Compliance Consultants discuss the regulatory compliance requirements related to investment advisers’ use of social media websites and email. Our consultants provide guidance regarding record retention requirements and developing policies and procedures related to using social media websites and communicating with your clients via email. Additionally, we discuss the need to address the supervision and monitoring of email communication and the personal use of social media websites by investment adviser representatives.

Description: During this webinar, securities attorney Bryan Hill will share his insights about key provisions and disclosures that should be included in an investment advisory agreement. Additionally, Mr. Hill will review state and federal regulatory requirements, common mistakes and best practices for an investment advisor to consider when preparing its client agreement. (Please note RIA Compliance Consultants is not a law firm.)

Time: 71 minutesDescription: During this webinar RIA Compliance Consultants provide a summary and analysis of some recent SEC enforcement actions. Our consultants discuss the lessons that can be learned from these enforcement actions and provide guidance regarding policies and procedures an investment adviser could implement to help it avoid ending up with a similar problem.

Time: 65 minutesDescription: During this webinar, RIA Compliance Consultants provide an overview of investment advisors' ongoing regulatory requirements. Our consultants provide tips for preparing a compliance calendar, checklists, and forms to assist investment advisors with meeting the annual regulatory requirements. Our consultants discuss a variety of topics, including, the Form ADV Annual Amendment filing, the annual offer or delivery of the Form ADV, the annual privacy policy delivery, review of outside business activities of IARs, ongoing due diligence of third party service providers, the assessment of supervisory programs, code of ethics requirements, personal securities transactions supervision, and compliance training.

Time: 46 minutesDescription: During this webinar, RIA Compliance Consultants review information security as it pertains to registered investment advisers' requirement to protect confidential client information. Our consultants discuss the information security requirements under Rule 30 of Regulation S-P issued by the U.S. Securities and Exchange Commission ("SEC") and review certain key SEC enforcement actions. We also discuss the importance of establishing a written information security program designed to protect confidential client information and our consultants expand on specific information security safeguards that should be included in the written plan. Additionally, our consultants offer various best practices to meet the expectation to protect client data.

Time: 70 minutesDescription: During this webinar RIA Compliance Consultant reviews the Form U4-Uniform Application for Securities Industry Registration or Transfer and the Form U5-Uniform Termination Notice for Securities Industry Registration. This presentation includes an overview of the information that is required to be submitted via the Form U4 and the Form U5 and a review of triggering events for submission of those forms. Additionally, our consultants provide discussion of the disclosure questions and corresponding Disclosure Reporting Pages (DRPs) and an explanation of the Investment Adviser Public Disclosure (IAPD) website.

Time: 72 minutesDescription: During this webinar hosted by RIA Compliance Consultants and presented by our affiliated law firm Bryan Hill Attorney at Law, the Final Rule "Reasonable Contract or Arrangement Under Section 408(b)(2) Fee Disclosure" is reviewed. This final rule establishes specific disclosure obligations for plan service providers, including investment advisers, to ensure that responsible plan fiduciaries are provided the information they need to make better decisions when selecting and monitoring service providers for their plans. We provide an overview of the 408(b)(2) regulation, including a review what services providers are covered, what plans are covered, what disclosure information is required to be provided by investment advisers to plan fiduciaries, and how the disclosure information must be provided.

Time: 85 minutesDescription: During this webinar, RIA Compliance Consultants review Rule 204-2 of the Investment Advisors Act of 1940 to help provide investment advisors with a better understanding of what books and records investment advisors are required to retain and for how long. Our consultants do not simply review Rule 204-2, but instead provide an overview of the files, documents and reports a regulator may request during an examination of an investment advisor. Our consultants also discuss some of the common investment advisor deficiencies relating to Rule 204-2.

Time: 76 minutesDescription: During this webinar, RIA Compliance Consultants discuss the use of performance advertising by investment advisers. Our Consultants provide discussion on investment adviser advertising, including performance advertising, in relation to regulations under Section 206(4) and Rule 206(4)-1 of the Investment Advisers of 1940 ("Advisers Act."). Investment advisers are not required by law to disclose performance; however, if an investment adviser does present performance data, RIA Compliance Consultants discuss how the data must be presented in order to avoid potential regulatory violations as required by the U.S. Securities and Exchanges Commission.

Time: 55 minutesDescription: During this webinar RIA Compliance Consultants provides an overview of Rule 204A-1 of the Investment Advisers Act of 1940 ("Advisers Act") which requires investment adviser firm's to develop and implement a Code of Ethics. The primary focus of this webinar is to provide investment adviser representatives and associate persons of the firm with an understanding of why this rule exists and how it affects them. This webinar discusses the fiduciary duties of investment advisers as it relates to Section 206 of the Advisers Act, including details on what it means to be a fiduciary, with supplemental examples of unethical behavior. This webinar is intended to serve as an education tool designed to assist investment advisers in providing on-going ethics training to its investment adviser representatives.

Time: 56 minutesDescription: During this webinar, RIA Compliance Consultants discuss the rule changes and new rules affecting investment advisors with between $25 million and $100 million in assets under management ("mid-sized advisors") that were recently adopted by the Securities and Exchange Commission under the Investment Advisers Act of 1940 to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Our consultants provide an overview of the new rules and changes to existing rules and discuss timing for any new requirements under these rules. We also discuss which investment advisors will be affected by these changes and what actions these investment advisors will need to take in order to comply with the new requirements to switch from SEC to state registration.

Time: 75 minutesDescription: During this webinar, RIA Compliance Consultants provides an overview of the ongoing regulatory requirements for an investment adviser. Our consultants provide tips for preparing a compliance calendar, checklists, and forms to assist investment advisors with meeting the annual regulatory requirements. Our consultants discuss a variety of topics, including, the Form ADV Annual Amendment filing, the annual offer or delivery of the Form ADV; the annual privacy policy delivery, review of outside business activities of IARs, supervision of solicitor arrangements, the assessment of supervisory programs, update of code of ethics, the review of personal securities transactions, and compliance training.

Time: 55 minutesDescription: 2011 was a year of changes for registered investment advisors. For most investment advisors it started with the implementation of the new Form ADV Part 2 and throughout the year, various provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act that affected investment advisors became effective. During this webinar, RIA Compliance Consultants provides a review of 2011’s regulatory changes and provides some guidance regarding issues investment advisor’s should considering as they update and prepare their compliance programs for 2012. This webinar will be good for investment advisors trying to figure out if they have managed to stay on top of everything or for those just looking for reassurance that they are on the right track.

Time: 73 minutesDescription: During this webinar, RIA Compliance Consultants discusses the investment advisor compliance requirements relating to the use of social media websites. One of our compliance consultants provides guidance regarding record retention and developing policies and procedures relating to social media websites. Additionally, we discuss the need to address supervision of personal use of these websites by an investment advisor’s representatives.

Time: 68 minutesDescription: During this webinar, RIA Compliance Consultants discuss the requirement for each investment advisor to designate an individual to serve in the role as the Chief Compliance Officer (CCO) pursuant to Rule 206(4)-7 under the Investment Advisers Act of 1940. Our consultants discuss the role of the CCO and provide an overview of the CCO’s ongoing compliance requirements.

Time: 64 minutesDescription: During this webinar, RIA Compliance Consultants discusses the need for an investment advisor to perform ongoing reviews and to periodically update its written compliance policies and procedures. Our consultants discuss how often an investment advisor should review and update its policies and procedures. We also discuss some of the key factors that an investment advisor should consider when determining if updates need to be made to its written compliance policies and procedures.

Time: 75 minutesDescription: During this webinar, RIA Compliance Consultants will discuss some of the additional actions that need to be taken now that you have filed the new Form ADV Part 2. One of our consultants will discuss the new requirements for delivering the ADV Part 2 to your clients. Additionally, we will discuss updates that your investment advisor may need to make to its written supervisory procedures to reflect the new ADV Part 2 and its requirements. Another key topic that will be addressed during this webinar is the change from SEC to state registration that will affect many investment advisors this year due to the upcoming change in the amount of assets under management required to be SEC registered.

Time: 61 minutesDescription: During this webinar, RIA Compliance Consultants outlined the annual regulatory requirements for an investment adviser and provided examples of and tips about how to prepare a compliance calendar, checklists and forms for the purpose of meeting such annual regulatory requirements. In particular, we discussed IARD renewals, the Annual Amendment to the Form ADV, the annual ADV offer and delivery of the privacy policy, review of outside business activities of IARs, supervision of solicitor arrangements, the assessment of supervisory programs, update of code of ethics, the review of personal securities transactions, and compliance training.

Time: 70 minutesDescription: During this webinar, RIA Compliance Consultants discusses the SEC’s new Form ADV Part 2, which investment advisors are required to provide to their clients and prospective clients. Our consultants highlight the changes relating to the format, the additional disclosure requirements, and filing requirements. Additionally, we address the timeline for the implementation and filing of this document.

Time: 62 minutesDescription: During this webinar, RIA Compliance Consultants outlined the emerging regulatory expectation that an investment adviser firm establish a written information security program designed to protect confidential client information. In particular, we reviewed certain key SEC enforcement actions and proposed amendments by the SEC to Regulation S-P, which would require specific measures to protect confidential client information. This webinar also covered the State of Massachusetts' new privacy regulation requiring an investment adviser firm with a client residing in Massachusetts to develop, implement, maintain and monitor a comprehensive written information security program and ensure that confidential client information stored on portable devices is encrypted. Our consultant offered various best practices to meet these new expectations to protect client data.

Time: 72 minutesDescription: This webinar focuses on investment adviser firms that are or have affiliated broker-dealers or qualified custodians and investment adviser firms that own or operate pooled investment vehicles such as hedge funds, private real estate deals and other private placement securities.

Time: 81 minutesDescription: Our webinar explores the new SEC requirements for investment adviser firms with custody. Our consultants discuss many common investment adviser practices that result in custody as defined by the SEC and answer pressing questions about the rule's impact on investment advisers. This webinar focuses upon the deduction of advisory fees, acceptance of third-party checks from clients, trustee relationships, and other common custody situations for investment adviser firms.

Time: 65 minutesDescription: During this webinar, RIA Compliance Consultants provides listeners with practical tips for preparing an investment advisor for an SEC examination and how to avoid some of the most common deficiencies.

Time: 67 minutesDescription: This webinar, "Filing 13F Reports was presented by Jarrod James of RIA Compliance Consultants. It is intended for registered investment adviser firms that exercised exercise discretionary authority over $100 million of Section 13(f) (generally, exchange traded or NASDAQ-quoted) securities. In addition to providing guidance about whether a security falls into the definition of a section 13(f) security and whether a registered investment adviser is required to file the Form 13F, Mr. James also discusses how to establish an EDGAR account and how to meet Form 13F instructions.

RIA Compliance Consultants|877-345-4034|

*RIA Compliance Consultants, Inc. (“RCC”) is not a law firm and does not provide legal services. A compliance consulting relationship with RCC is not provided those legal and professional protections that normally exist under an attorney-client relationship. For more information, please visit our Disclosures webpage.

The determination to use a third-party compliance services provider is an important decision and should not be based solely upon advertisements or self-proclaimed expertise. A description or indication of limitation of our compliance services does not mean that an agency or board has certified RCC as a specialist or expert in investment advisor compliance. All potential clients are urged to make their own independent investigation and evaluation of RCC.